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1、A公司新三板掛牌上市問(wèn)題研究重慶大學(xué)碩士學(xué)位論文（專(zhuān)業(yè)學(xué)位）學(xué)生姓名：王建梁指導(dǎo)教師：李春紅副教授學(xué)位類(lèi)別：金融碩士重慶大學(xué)經(jīng)濟(jì)與工商管理學(xué)院二O一六年五月ResearchonListingonthenewOTCMarketofCompanyAAThesisSubmittedtoChongqingUniversityinPartialFulfillmentoftheRequirementforProfessionalDegreeByWangJianliangSupervisedbyA.Prof.LiChunhong
2、Specialty：MasterofFinanceCollegeofEconomicsandBusinessAdministrationofChongqingUniversity,Chongqing,ChinaMay2016重慶大學(xué)碩士學(xué)位論文中文摘要摘要新三板市場(chǎng)是全國(guó)中小企業(yè)股份轉(zhuǎn)讓系統(tǒng)的俗稱(chēng)，是經(jīng)國(guó)務(wù)院批準(zhǔn)設(shè)立的全國(guó)性證券交易場(chǎng)所，是為非上市股份公司股份的公開(kāi)轉(zhuǎn)讓、融資、并購(gòu)等相關(guān)業(yè)務(wù)提供服務(wù)的平臺(tái)，全國(guó)中小企業(yè)股份轉(zhuǎn)讓系統(tǒng)有限責(zé)任公司（股轉(zhuǎn)公司）是其運(yùn)營(yíng)管理機(jī)構(gòu)，是經(jīng)國(guó)務(wù)院批準(zhǔn)設(shè)立的中國(guó)證監(jiān)會(huì)直屬機(jī)構(gòu)。新三
3、板市場(chǎng)定位于服務(wù)創(chuàng)新型和成長(zhǎng)型的中小企業(yè)，主要解決初創(chuàng)期中小企業(yè)規(guī)范治理、股份轉(zhuǎn)讓、融資及資產(chǎn)重組業(yè)務(wù)問(wèn)題。目前，具備發(fā)展?jié)摿Φ闹行∑髽I(yè)面臨著融資難的問(wèn)題，而在我國(guó)經(jīng)濟(jì)轉(zhuǎn)型期，中小企業(yè)的良好發(fā)展對(duì)我國(guó)經(jīng)濟(jì)的發(fā)展起著重要的作用。因此，本文正是在上述背景下，主要研究企業(yè)掛牌新三板的實(shí)務(wù)問(wèn)題。本文首先從企業(yè)于新三板掛牌上市的實(shí)務(wù)角度去解讀新三板掛牌流程，然后以A企業(yè)為例，對(duì)A企業(yè)基本情況進(jìn)行介紹，結(jié)合新三板掛牌的流程及條件，從業(yè)務(wù)狀況、財(cái)務(wù)狀況、合法合規(guī)狀況三個(gè)方面入手，梳理阻礙其掛牌的問(wèn)題，對(duì)問(wèn)題進(jìn)行分析并給出方案設(shè)計(jì)
4、。最后，對(duì)全文進(jìn)行總結(jié)，希望本文對(duì)問(wèn)題研究中具有代表性與普遍性的問(wèn)題分析可以為擬掛牌的其他企業(yè)提供參考與借鑒，讓更多的企業(yè)掛牌于新三板，讓新三板市場(chǎng)發(fā)展的更加壯大，讓資本市場(chǎng)更好的服務(wù)于中小企業(yè)。關(guān)鍵詞：新三板，掛牌問(wèn)題，方案設(shè)計(jì)I重慶大學(xué)碩士學(xué)位論文英文摘要ABSTRACTTheNEEQiscommonlyknownasthenewOTCmarket,itisthenationalstockexchangeareaauthorizedbythestatecouncil,theplatformwhichprovid
5、edprofessionalbusinesstonon-listedLtd,suchaspublicstocktransfer,financing,mergersandacquisitions.TheNEEQLtd.istheadministrationandoperationorganisation,whichisthedepartmentunderCSRC(ChinaSecuritiesRegulatoryCommission).ThenewOTCmarketisdesignedtohelpcompaniest
6、osolveproblemsatitsbeginningstage,suchas,themanagementoforganisationregulation,stocktransfer,mergersandacquisitions.Atpresent,withthepotentialfordevelopmentofsmallandmediumenterprisesfacingfinancingproblems,butinChina'seconomictransition,sounddevelopmentofSMEs
7、toChina'seconomicdevelopmentplaysanimportantrole.Therefore,thisarticleisintheabovecontext,themainresearchcompanieslistedthenewOCTmarketsubstantiveissues.FirstlythisarticlefromtheperspectiveofenterpriseinthepracticeofthenewOTCmarketlistingtointerpretthenewOTCma
8、rketlistingprocess,andthenwithcompanyAasanexample,introducesthebasicsituationofcompanyA,combiningwiththeprocessandconditionsofthenewOTCmarketfromthebusinessandfinancialconditions,l
